SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release Nos. 33-7376; 34-38068; IC-22413; File No. S7-12-96RIN 3235-AG78Odd-lot Tender Offers by IssuersAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-22405, International Series Release No. 1037, File No. S7-30-96RIN 3235-AH09Private Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION:Proposed rulesSUMMARY:The Commission ...

This 1996 no-action letter helps to define what net-of-fee performance data means. The SEC, in this correspondence, held that it include all transaction costs and ...

Because "up front" fees and charges can have a significant impact on the net opening equity of pools and managed accounts, the above NFA rule ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200(Release No. 34-37893)Delegation of Authority to the General CounselAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission is ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-37850; File No. S7-27-96]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...

This is the 1996 law passed by Congress called the National Securities Markets Improvement Act or NSMIA.

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 228, 229 AND 249RELEASE NO. 34-37801; INTERNATIONAL SERIES NO. 1020 FILE NO. S7-19-95RIN 3235-AG47PERIODIC REPORTING OF UNREGISTERED EQUITY SALESAGENCY:Securities ...